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IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 2, JUNE 2005

Three-Phase Self-Excited Induction

Generators: An Overview
R. C. Bansal, Senior Member, IEEE

AbstractInduction generators are increasingly being used

in nonconventional energy systems such as wind, micro/mini
hydro, etc. The advantages of using an induction generator
instead of a synchronous generator are well known. Some of
them are reduced unit cost and size, ruggedness, brushless (in
squirrel cage construction), absence of separate dc source, ease
of maintenance, self-protection against severe overloads and short
circuits, etc. In isolated systems, squirrel cage induction generators with capacitor excitation, known as self-excited induction
generators (SEIGs), are very popular. This paper presents an
exhaustive survey of the literature over the past 25 years discussing the process of self-excitation and voltage buildup, modeling, steady-state, and transient analysis, reactive power control
methods, and parallel operation of SEIG.
Index TermsInduction generator, isolated system, self-excited
induction generator, steady-state analysis.

I. INTRODUCTION

HE increasing rate of the depletion of conventional energy sources has given rise to an increased emphasis on
renewable energy sources such as wind, mini/micro-hydro, etc.
[1][16]. Generation of electrical energy mainly so far has been
from thermal, nuclear, and hydro plants. They have continuously degraded the environmental conditions. An increasing rate
of the depletion of conventional energy sources and the degradation of environmental conditions has given rise to an increased
emphasis on renewable energy sources, particularly after the
increases in fuel prices during the 1970s. Use of an induction
machine as a generator is becoming more and more popular
for the renewable sources [1], [17][20]. Reactive power consumption and poor voltage regulation under varying speed are
the major drawbacks of the induction generators, but the development of static power converters has facilitated the control of the output voltage of induction generators. This paper
presents an overview of three-phase self-excited induction generator (SEIG). The paper is organized as follows. Section II
presents the classification of induction generators. A literature
review on the process of self-excitation and voltage buildup,
and modeling is presented in Sections III and IV, respectively.
Performances under steady state, transient conditions, reactive
power-control methods, and parallel operation of SEIG have
been presented in Sections VVIII, respectively.
Manuscript received June 24, 2003; revised November 25, 2003. Paper no.
TEC-00155-2003.
The author is with the Electrical and Electronics Engineering Department,
Birla Institute of Technology and Science, Pilani PIN-333031, India (e-mail:
rcbansal@hotmail.com).
Digital Object Identifier 10.1109/TEC.2004.842395

II. CLASSIFICATION OF INDUCTION GENERATORS

On the basis of rotor construction, induction generators are
two types (i.e., the wound rotor induction generator and squirrel
cage induction generator). Depending upon the prime movers
used (constant speed or variable speed) and their locations (near
to the power network or at isolated places), generating schemes
can be broadly classified as under [21][24]:
i) constant-speed constant-frequency (CSCF);
ii) variable-speed constant-frequency (VSCF);
ii) variable-speed variable-frequency (VSVF).
A. Constant-Speed Constant Frequency
In this scheme, the prime mover speed is held constant by
continuously adjusting the blade pitch and/or generator characteristics [21]. An induction generator can operate on an infinite bus bar at a slip of 1% to 5% above the synchronous speed.
Induction generators are simpler than synchronous generators.
They are easier to operate, control, and maintain, do not have
any synchronization problems, and are economical.
B. Variable-Speed Constant Frequency
The variable-speed operation of wind electric system yields
higher output for both low and high wind speeds [21], [25][28].
This results in higher annual energy yields per rated installed
capacity. Both horizontal and vertical axis wind turbines exhibit this gain under variable-speed operation. Popular schemes
to obtain constant frequency output from variable speed are as
shown.
1) ACDCAC Link: With the advent of high-powered
thyristors, the ac output of the three-phase alternator is rectified
by using a bridge rectifier and then converted back to ac using
line-commutated inverters. Since the frequency is automatically
fixed by the power line, they are also known as synchronous
inverters [24], [27].
2) Double Output Induction Generator (DOIG): The DOIG
consists of a three-phase wound rotor induction machine that is
mechanically coupled to either a wind or hydro turbine, whose
stator terminals are connected to a constant voltage constant frequency utility grid [29][43]. The variable frequency output is
fed into the ac supply by an acdcac link converter consisting
of either a full-wave diode bridge rectifier and thyristor inverter
combination or current source inverter (CSI)-thyristor converter
link [24]. One of the outstanding advantages of DOIG in wind
energy conversion systems is that it is the only scheme in which
the generated power is more than the rating of the machine.
However, due to operational disadvantages, the DOIG scheme
could not be used extensively. The maintenance requirements

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BANSAL: THREE-PHASE SELF-EXCITED INDUCTION GENERATORS: AN OVERVIEW

are high, the power factor is low, and reliability is poor under
dusty and abnormal conditions because of the sliding mechanical contacts in the rotor. This scheme is not suitable for isolated power generations because it needs grid supply to maintain excitation.
C. Variable-Speed Variable Frequency
With variable prime mover speed, the performance of synchronous generators can be affected. For variable speed corresponding to the changing derived speed, SEIG can be conveniently used for resistive heating loads, which are essentially
frequency insensitive. The basic theme of this paper is to present
an overview of SEIG in isolated applications. This scheme is
gaining importance for stand-alone wind power applications [1],
[17][20].
III. PROCESS OF SELF-EXCITATION AND VOLTAGE
BUILDUP IN SEIG
Self-excitation phenomenon [44][59] in induction machines
although known for more than a half century is still a subject of
considerable attention. The interest in this topic is primarily due
to the application of SEIG in isolated power systems. Physical
background of the self-excitation process has been described in
considerable depth in [49]. When an induction machine is driven
at a speed greater than the synchronous speed (negative slip)
by means of an external prime mover, the direction of induced
torque is reversed and theoretically it starts working as an induction generator. From the circle diagram of the induction machine
in the negative slip region [52], it is seen that the machine draws
a current, which lags the voltage by more than 90 . This means
that real power flows out of the machine but the machine needs
the reactive power. To build up voltage across the generator terminals, excitations must be provided by some means; therefore,
the induction generator can work in two modes (i.e., grid connected and isolated mode). In case of a grid-connected mode,
the induction generator can draw reactive power either from the
grid but it will place a burden on the grid or by connecting a
capacitor bank across the generator terminals [60][62]. For an
isolated mode, there must be a suitable capacitor bank connected
across the generator terminals. This phenomenon is known as
capacitor self-excitation and the induction generator is called a
SEIG.
The process of voltage buildup in an induction generator is
very much similar to that of a dc generator. There must be a
suitable value of residual magnetism present in the rotor. In the
absence of a proper value of residual magnetism, the voltage
will not build up. So it is desirable to maintain a high level
of residual magnetism, as it does ease the process of machine
excitation. The operating conditions resulting in demagnetization of the rotor (e.g., total collapse of voltage under resistive
loads, rapid collapse of voltage due to short circuit, etc. should
be avoided [49]).
When an induction generator first starts to run, the residual
magnetism in the rotor circuit produces a small voltage. This
small voltage produces a capacitor current flow, which increases
the voltage, and so forth until the voltage is fully built up. The

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no-load terminal voltage of the induction generator is the intersection of the generators magnetization curve with capacitor
load line [54]. The magnetization curve of the induction generator can be obtained by running the machine as a motor at no
load and measuring the armature current as a function of terminal voltage. To achieve a given voltage level in an induction
generator, an external capacitor must be able to supply the magnetizing current of that level.
IV. MODELING
Various models and their applications [22], [48], [63][84]
have been presented to analyze the steady-state as well as transient performance of SEIG operating with either a regulated or
unregulated prime mover. The following categories are the different models used.
A.

Reference Model

reference model was first proposed by Krause et al.

[63]. After a slight modification, many authors have formulated a reference model for a three-phase induction generator. Novotony et al. [48] developed an analytical model of
a system having an induction generator connected to a resistively loaded inverter using synchronously rotating reference frame. Using the reference frame model of a threephase induction generator, the transient performance [66][69]
and unbalance operation have been studied in [76].
B. Impedance-Based Model
In [77], the performance of the SEIG using an analytical
model based on a conventional single-phase equivalent circuit
with per-unit (p.u.) parameter has been studied. The model
used in [77] has been extended for the evaluation of various
steady-state performance characteristics of stand-alone generators, such as the effect of shaft variation [78], [79], change
in generator pole number [80], and parallel operation [81],
etc. Raina et al. [79] have included the effects of injected
harmonic currents due to the electronic controller on generator
losses in the steady-state model of SEIG. Rajakaruna et al.
[82] have included the unregulated prime mover characteristic
in the steady-state model of a three-phase-balanced induction
generator.
C. Admittance-Based Model
Quazene et al. [22] developed an admittance-based model
of SEIG using a single-phase equivalent circuit model with
a balanced three-phase resistive load. For the determination
of operating frequency ( ) and magnetizing reactance ( ),
real and imaginary parts of the sum of admittances of the
rotor, magnetizing, and stator branches are equated to zero.
This method gives an algebraic expression for magnetizing
reactance in terms of generator frequency and other machines
parameters and given speed. Ammasaigounden et al. [83] also
used an admittance-based model for a given output frequency,
where the performance equation becomes quadratic in terms of
speed and other machine parameters.

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D. Operational Circuit-Based Model

In [84], an alternative approach to the steady-state performance analysis of a stand-alone SEIG is presented. An operd/dt
ational equivalent circuit in terms of operator
replacing in an impedance based model is developed, where
. The solution of a fifth-order polynomial for lagging
.
load gives the values of and
E. Power Equations-Based Model
Above-mentioned models are difficult to extend for a multimachine system like winddiesel hybrid system having both
induction and synchronous generators as these models are
based on voltage/current equations. Moreover, the variation
in slip, a very important parameter in wind power generation
due to fluctuating nature of wind, has not been considered in
these mathematical models. Authors [72][74] developed a
power equation model of SEIG, which is very easy to extend
for a multimachine hybrid system having both induction and
synchronous generators.
V. STEADY-STATE AND PERFORMANCE ANALYSIS
Steady-state analysis of SEIG is of interest, both from the
design and operational points of view. In an isolated power
system, both the terminal voltage and frequency are unknown
and have to be computed for a given speed, capacitance, and
load impedance. A large number of articles have appeared
on the steady-state analysis of the SEIG [1], [22], [76][80],
[82][115]. Contributions of the important papers are presented
in this section. Murthy et al. [77] developed a mathematical
model to obtain the steady-state performance of SEIG using
the equivalent circuit impedance of the machine. Two nonlinear
equations, which are real and imaginary parts of the impedance,
using NewtonRaphson
are solved for two unknowns and
method. Quazene et al. [22] used a nodal admittance technique
to obtain a nodal equation and then separated it into its real and
imaginary parts so as to solve them first for and then for
by substituting the value of . Jain et al. [85] have proposed a
method in which the algebraic equation is solved for the initial
value of and then the Secant method is used for the exact
solution.
Chan [86] has proposed an iterative technique by assuming
some initial value for and then solving for a new value considering a small increment until the result converges. This technique, however, lacks in making a judicious choice of an initial value and number of iterations required. Rajakaruna et al.
[82] have used an iterative technique which uses an approximate equivalent circuit and a mathematical model for - curve
and the solution is reduced to a nonlinear equation in . Singh
et al. [88] tried an optimization technique by formulating this
as a multivariate unconstrained nonlinear optimization problem.
The impedance of the machine is taken as an objective funcare selected as independent variables, which
tion. The and
are allowed to vary within their upper and lower limits so as
to achieve practically acceptable values of the variables. The
Rosenbrocks method of rotating coordinates has been used for
solving the problem.

Suitability of pole changing (4/6 pole) of SEIG for harnessing

more wind energy under wide variation in wind speed is presented in [83], [91], [92]. It is shown that at lower prime mover
speed, the machine is to be operated with a higher number of
poles (six) and at higher speed, it has to be operated with a lower
number of poles (four) so as to reduce the excitation requirement over a large range of speed of the machine. Chatterjee et al.
[92] discussed the relative requirements of excitation capacitor,
for the specific ratio of flux density, maximum electromagnetic
torque, maximum output power, and terminal voltage of the generator under different pole configurations. It is observed that the
capacitor requirement is about 44%, stator current is smaller,
and power output is about 2.5 times in four pole as compared to
a six-pole configuration which leads to the better utilization of
the generator rating for a four-pole configuration.
Sandhu et al. [93] have proposed an approach, which leads
to a quadratic equation in slip making the steady-state analysis
simple and comprehensive. Wang et al. [95] have presented
an eigenvalue-based approach to predict both minimum and
maximum values of capacitance required for self-excitation of
SEIG.
Steady-state analysis and performance of SEIG driven by regulated and unregulated turbines have been presented in [96] and
[97]. In case of regulated turbines for CSCF operation, the perunit speed is determined directly by solving a quadratic equation. For unregulated turbines, an additional iteration procedure
using the Secant method has been used for dealing with the variable-speed nature of the turbine. Alghuwainem [98] has examined the steady-state analysis and performance characteristics
of stand-alone SEIG when a transformer is connected to its terminals to supply the load at different voltage levels or to step up
the terminal voltage. The transformer tends to saturate at higher
speeds and, thus, absorbs the excess reactive power, limits the
increase in the terminal voltage, and improves the voltage regulation. But the transformer introduces an additional nonlinearity,
which complicates the analysis considerably. A technique has
been suggested for formulating and solving the systems equation including the transformer saturation and the same technique is also applicable for nonlinear loads. Kumarasen et al.
[99] compared the performance of wind-driven SEIG with load
matching using the capacitor alone and with the combination of
shunt and series capacitors.
The comparison between the steady-state performance of
self-excited reluctance and induction generators has been
presented in [23] and [102]. A reluctance generator is a synchronous machine with a salient or segment rotor, which does
not requires any dc rotor excitation. Very little work has been
reported in regards to reluctance generators, and has relatively
minor practical applications.
Using the method of symmetrical components, a general analysis for three-phase SEIG with an asymmetrically connected
load and excitation capacitance is presented in [104]. Alolah et
al. [111] have presented an optimization-based approach for the
analysis of SEIG. The problem is formulated as a numerical optimization problem where no derivation of the analytical equation is needed. Instead of the step-by-step method analytical
derivation, a global optimizer, such as those built in the mathematical software Matlab, is utilized to solve the total impedance

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or admittance equations of the circuit of the machine to obtain

the frequency and other unknown parameters of the machine.

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Many articles been appeared on the transient/dynamic analysis of SEIG [69], [84], [116][127] and most of the transient
studies of induction generators are related to voltage buildup
due to self-excitation and load perturbation. In [69], the transient
performance of short-shunt SEIG is presented. It is seen that it
can sustain severe switching transients, has good overload capacity, and can re-excite over no load after loss of excitation. It
is also observed that except for the most unusual circumstances
(the short circuit across the machine terminals across the series
capacitor), the short-shunt SEIG supplies adequate fault current
to enable overcurrent protective device operation.
In [84], the voltage buildup of SEIG due to switching of the
three-phase capacitor bank at rated speed at no load is presented.
It is observed that depending on the machine parameters, the
generator voltage builds up from small voltage due to residual
magnetism to its rated value in nearly 1 s. In [118], transient
analysis of SEIG feeding an induction motor (IM) has been
investigated to analyze the suitability of the SEIG to sudden
switching, such as starting of the IM. It is seen that reliable
starting of an IM on SEIG is achievable with the value of capacitance determined through steady-state investigation; however, the capacitance should be applied in two steps: first to
self-excite the generator, and second along with the motor or
after switching on the motor.
Wang et al. [119] have presented the transient performance of
stand-alone SEIG under the voltage buildup process, suddenly
switching off one excitation capacitor and suddenly switching
off two excitation capacitors. It is seen that when one of the
three balanced excitation capacitors is switched off from the
machine, SEIG can still maintain self-excitation and generates
adequate voltage on other two phases. When two of the threebalanced excitation capacitors are switched off from the machine, the generated voltage of the SEIG collapses and gradually
reduces to zero. Wang et al. [120] have presented a comparative study of long-shunt and short-shunt configurations on dynamic performance of an isolated SEIG feeding an induction
motor load. Results show that the long shunt configurations may
lead to unwanted oscillations while the short shunt provides the
better voltage regulation. Levi et al. [59] have presented an experimental study of the dynamic behavior of SEIG. The emphasis is placed on the situation that leads to voltage collapse
and the total demagnetization of the machine and on the variable speed of the induction generator with a fixed capacitor
bank. Transient performance of three-phase SEIG during balanced and unbalanced faults is presented in [121], considering
the effects of main and cross flux saturation for load perturbation, three-phase, and line-to-line short circuit, opening of one
capacitor, two capacitors and a single line at the capacitor bank,
opening of single-phase load, two-phase load, etc.

Induction generators and also load, which is generally inductive in nature, require the supply of reactive power [128][149].
Unbalanced reactive power operation results in voltage variation. Capacitance requirements and the selection of capacitors
of the SEIG have been discussed in [128][134]. Malik et al.
[132] have shown that the minimum capacitance requirement
of SEIG is inversely proportional to the square of speed and
maximum saturated magnetizing reactance. Sridhar et al. [134]
have discussed a methodology to choose the appropriate value
of capacitors for desired regulation of short-shunt SEIG. The
short/long-shunt configurations of the SEIG give better performance in terms of voltage regulation than the simple shunt configuration, but the compensation used in these configurations
causes the problem of subsynchronous resonance while supplying power to inductive and/or dynamic loads.
An overexcited synchronous machine can provide reactive
power compensation [135], [136]. But it does so on the sacrifice
of active power generation as the winding of the synchronous
generator is designed for a particular rating of current. Further,
this method is somewhat complex, and is only cost effective
when a large amount of compensation is needed.
A fixed capacitor alone, presented in [77], [115], cannot provide the adequate amount of reactive power needed by the induction generator at all possible speeds and loading conditions.
Even if fixed capacitors are used to provide the average value,
self-excitation may result in undue overvoltages.
A fixed and switched capacitors scheme presented in [137]
consists of two discrete groups of fixed and switched capacitors, which furnish enough reactive power for an induction generator throughout its desired operating region of speed. The
number of switched capacitors is kept to a minimum to simplify
the switching circuit, and yet provides adequate and varying
reactive power compensation. The controller senses the reactive power drawn by the machine and accordingly provides the
needed reactive power to improve the power factor to as close to
unity as possible. This method has limited applications because
it regulates a terminal voltage in discrete steps.
The above described methods of reactive power control have
many disadvantages and may not be able to provide the adequate amount of reactive power under varying input and/or load
conditions. Wind is the main conventional energy source that
fluctuates highly in nature, and power produced from the wind
varies with the cube of the speed [138]. Static var compensators
(SVCs) have been used in conventional power systems and can
also be used conveniently in isolated power systems [142] where
continuous and fast control of reactive power is required.
In [142], an SVC has been used to control the reactive power
of an isolated wind-diesel hybrid system in which the induction
generator is used for wind systems and the synchronous generator is for a diesel generator set. SVC has fast response and
continuous control of reactive power and offers a large number
of advantages over conventional reactive power compensation
schemes.

VII. VOLTAGE-CONTROL ASPECTS

VIII. PARALLEL OPERATION OF SEIG

The need for reactive power support and poor voltage regulation are the two major drawbacks of induction generators.

In places where natural resources are available in abundance,

usually SEIGs operate in parallel [115], [150][154] to utilize

VI. TRANSIENT/DYNAMIC ANALYSIS

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the full potential of natural resources. Parallel operation of SEIG

requires extensive investigation with regard to different aspects
of parallel operation, such as influence of parameter variations
on parallel operation, VAR control, etc.
Bahrani et al. [150] studied the voltage-control behavior of
multi-induction generators operating in parallel with one threephase bank of excitation capacitors connected to a common
bus and load. It has been reported that voltage regulation under
varying load conditions is improved by controlling either the capacitance or speed of one or more generators. Under controlled
terminal voltage operation, it is noticed that the capacitive reactive power and speed (active power/frequency) demand increase with the increased load. Under the similar condition of
controlled terminal voltage, the system frequency also depends
on load power and terminal voltage.
Chakraborty et al. [152] have analyzed the effects of parameter variations on the performance of parallel-connected SEIG
operating in stand-alone mode. The investigation outlines the
parameter influence on the performance of individual generators as well as on the system as a whole. Effects of parameter
deviations on the power sharing, current sharing, VAR requirements, and on the voltage regulation have been examined in this
paper. Rotor resistance is found to have the largest influence on
current and power sharing of individual machines and also on
terminal frequency.
Wang et al. [154] have presented an Eigen value-based
methodology to analyze the dynamic performances of parallel-operated SEIG supplying an IM load to find the minimum
starting value of capacitance required for self-excitation.
Steady-state and sensitivity analysis of different capacitance
values with respect to different system parameters have been
investigated. The responses of the output voltage of parallel-operated generators during suddenly switched on and off of an
induction motor load have also been reported.
In isolated systems in addition to the operation of induction
generator in parallel, operating synchronous generators in parallel with induction generators [9], [10] may also be required.
An analysis has been carried out in [72] and [142] to control
the reactive power of isolated winddiesel/winddieselmicrohydro hybrid systems in which the induction generator is used
for wind and micro-hydro systems and synchronous generators
for a diesel generator set.
IX. CONCLUSION
In isolated systems, the use of a SEIG offers many advantage over a synchronous generator. It is desirable that the cost
of an isolated system should be very low so that the cost of
power produced from it can be afforded by the poor community residing in an isolated area. Use of the SEIG compared
to the synchronous generator can reduce the system cost considerably. This article has presented a comprehensive literature
review on important aspects of SEIG such as the process of
self-excitation and voltage buildup, modeling, steady-state and
transient analysis, reactive power/voltage control, and parallel
operation. SEIGs have been mainly analyzed in a single system
like wind or micro hydro, etc. and contributions in dual or multisystems, such as winddiesel, winddieselmicro hydro, etc.

are almost negligible. It is expected that better methods of reactive power/voltage-control techniques will make the SEIG more
suitable for isolated applications.
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R. C. Bansal (SM03) received the M.E. degree

from Delhi College of Engineering, Delhi, India, in
1996, and the Ph.D. degree from the Indian Institute
of Technolgy, Delhi, India, in 2003.
Currently, he is with the Faculty in the Department
of Electrical and Electronics Engineering, Birla Institute of Technology and Science, Pilani, India. He has
published many papers in national/international journals/conferences. His research interests include reactive power control, power system optimization, and
artificial intelligence techniques in power systems.
Dr. Bansal is a Life Member of the Indian Society of Technical Education and
a Member of the Institution of Engineers (India).